Regulation round-up September 2015

Published: 17/09/2015     Last Modified: 01/10/2015

Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.

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Introduction: Tracey McDermott, Acting Chief Executive

Over the last two years the FCA has taken on a whole range of new functions and powers. Our new strategy last year set out how, in the light of this, we intended to develop a more sustainable model of regulation, with new ways to prioritise our work.

We know we have to do more to ensure our resources are deployed efficiently, that we can act quickly but effectively and proportionately, using all of the wide range of tools at our disposal, and that we are able to continually evolve as our firms do.

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Hot topic: Move from ONA to Connect

Towards the end of last year we launched Connect, our online system used by firms to submit applications and notifications to us.

Connect has replaced all applications that were previously submitted via the Online Notifications and Applications (ONA) system. 'Read-only' access is currently available to ONA users, which means that existing users of ONA are able to continue to view previously submitted applications.

From 8pm on 23 October, 'read-only' access to ONA will no longer be available.

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In your sector…

Banks and building societies

FS: Terms and definitions for services linked to payment accounts

FEMR: Competition Law

Consumer buy-to-let

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Investment managers and stockbrokers (retail and wholesale)

Recovery and Resolution Directive: suggested template

FEMR: Competition Law 

MiFID II Wholesale Conference

CP: UCITS V implementation

Market Watch: Commodities Trading thematic review

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Financial advisers

Data collection findings

Consumer buy-to-let

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Wealth managers and private bankers

Recovery and resolution Directive: suggested template

FEMR: Competition Law

MiFID II Wholesale Conference

CP: UCITS V implementation

Market Watch: Commodities Trading thematic review

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Mortgage lenders and brokers

Financial Advice Market Review

Consumer buy-to-let

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Insurers and insurance intermediaries

Data collection findings

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Consumer credit

Mortgage Credit Directive

Consumer buy-to-let

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Credit unions

Workshops: Improving individual accountability

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Read or download the full Regulation round-up: September 2015

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